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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-10-11
DE RA APPROVED 2019-09-13
  • TX RA
    APPROVED_RES
    Since 2019-10-11
  • DE RA
    APPROVED
    Since 2019-09-13

Branch Locations

200 Continental Dr Ste 200, Newark, DE 19713-4303 • United States

Wilmington, DE • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Alpine Brokerage Services, Llc Marlton NJ 11/2013 06/2019
Ameriprise Financial Services, Llc Wilmington DE 05/2019 Present
Previous Registrations
  • 2001-05-22 → 2006-06-16
    Usallianz Securities, Inc.
    Voorhees, NJ
    Voorhees, NJ
Other Businesses

Board of Directors; Association of Fundraising Professionals Brandywine Chapter; Treasurer; 100 W. 10th Street, Suite 106, Wilmington, DE, 19801; Not Investment-Related; 01/01/2024; 1 to 9 hours per month; 0 during trading hours / Epilepsy Foundation of Delaware; Board Member; 527 Stanton Christiana Rd, , Newark, DE, 19713; Not Investment-Related; 10/01/2024; 1 to 9 hours per month; 0 during trading hours / Caeser Rodney Rotary; President; PO Box 1085, , Wilmington, DE, 19899; Not Investment-Related; 07/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours / SOAR: Survivors of Abuse in Recovery, Inc.; Member at large; 405 Foulk Road, , Wilmington, DE, 19803; Not Investment-Related; 08/09/2023; 1 to 9 hours per month; 1 to 9 during trading hours. Outside Employment; Point to Point Wealth Planning; I am a financial advisor employee. ; Retail; 5195 W Woodmill Dr, Suite 27, Wilmington, DE, 19808; Investment-Related; 09/03/2019; 40 to 59 hours per month; 60 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-08-27
S65 Uniform Investment Adviser Law Examination 1996-01-17
S63 Uniform Securities Agent State Law Examination 1995-10-02
  • S66 Uniform Combined State Law Examination
    2019-08-27
  • S65 Uniform Investment Adviser Law Examination
    1996-01-17
  • S63 Uniform Securities Agent State Law Examination
    1995-10-02

View on SEC IAPD

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